Company: New York Life Investment Management
| Jae Yoon|
New York Life Investment Management
Chief Investment Officer
Recipient: Jae Yoon
Yoon, CIO at New York Life Investment Management, has been awarded the 2016 Irving Kahn Lifetime Achievement Award.
Company: BNY Mellon's Pershing
Recipients: Lisa Dolly
, Lori Hardwick
Dolly, CEO, and Hardwick, COO, have been named
to InvestmentNews's 2016 Women to Watch list.
Addition: John Greer
Greer has joined
the firm as chief marketing officer. Previously, he held many executive-level marketing positions at Franklin Templeton Investments
Company: Hatteras Funds
Rehire: Casey Brunner
Brunner has rejoined the firm as partner and managing director. He originally joined Hatteras in 2011 as midwest regional director until early 2015. In the interim, he served as managing director for The Rock Creek Group
Rehire: Dave Nadig
Nadig has been named
CEO of ETF.com. Nadig previously led ETF.com's data and analytics efforts from 2008-2015. After his first stint at ETF.com, he served as VP, director, exchange traded funds for FactSet Research Systems
until he was rehired by ETF.com.
Honoree: Michelle Borré
Borré has been inducted
into the 2016 YW Academy of Women Leaders Class. Currently, she serves as sole PM of the Oppenheimer Fundamental Alternatives Fund
and lead PM of the Oppenheimer Capital Income Fund
Company: Deutsche Asset Management
Promotions: Steve Byers
, Michael Gilligan
, Freddi Klassen
Byers has been appointed
independent chair of the board of trustees for the DBX ETF Trust
. Gilligan has been appointed a member of the board of trustees. Klassen has been appointed president of the trust.
Company: John Hancock Investments
Addition: Philip Casparius
Casparius has been appointed
to the national accounts team as senior managing director for wire-house strategy and alliances. Previously, he was managing director and head of retail distribution for UBS
's Asset Management division.
Promotions: Erik Schneberger
, Vince Grogan
, Eric Johnson
Schneberger has been appointed
head of brand & client experience. Grogan has been appointed head of integrated marketing, which encompasses broker dealer, high net worth, institutional, retirement & sub-advised marketing efforts, as well as content strategy & development. Johnson has been appointed head of digital distribution & innovation.
Company: Polen Capital
Addition: Julian Pick
Pick is heading
the Polen Global Growth Equity strategy
. He has many years in the industry; he previously served as a research analyst and portfolio manager for Janus Capital
Addition: Janet Hamilton
Hamilton has joined
the board of the Jensen Quality Growth Fund
. She also serves as an associate professor at the school of business at Portland State University.
Company: Cetera Financial Group
Promotion: Robert Dineen
Dineen has been appointed
non-executive chairman of the board of Cetera’s parent company, Aretec Group, Inc
. He has been acting chairman since September.
Company: Securities and Exchange Commission
Departure: Mary Jo White
White will step down
from her position as chair of the SEC at the end of the Obama administration.
Promotions: Mark Wiedman
, Mark McCombe
Wiedman has been promoted
to head of a new unit combining the ETF and index-investing business. He also oversees the iShares
exchange-traded funds. McCombe has been promoted to the newly created role as head of the Americas. He also co-heads alternatives.
Company: Sidley Austin LLP
Addition: Elizabeth Shea Fries
Fries has joined the firm as a partner in the global investment funds, advisers and derivatives practice. Previously, she was a partner in the financial institutions group at Goodwin Procter
Company: Silver Lane
Award: Deal of the Year
Silver Lane was awarded this honor at the 15th Annual M&A Advisor Awards. Silver Lane was commended for its role as exclusive financial advisor to Gerstein Fisher
on its sale to People's Securities
Company: SmartTrust UITs
Additions: Rich Jaeger
, Chris Jameson
Jaeger has been appointed
regional vice president of the northeast. Previously, he marketed UITs in the New York metro area for First Trust
. Jameson has been appointed regional vice president of the southeast. Previously, he was a regional vice president of the southeast at Ivy Funds
Additions: Stacie Yates
, Justin Rooney
Yates has been appointed
director of business implementation. Previously, she was an executive director of product development and management at UBS Wealth Management
. Rooney has been appointed senior manager of client services. Previously, he was an associate director of sales at Third Avenue Management
Company: Cantella & Co., Inc
Addition: Brooks Marston
Marston has joined
Cantella & Co as chief operating officer. Previously, he served as managing director at BNY Mellon Investment Management
Check back as we keep an eye on people moves in the future and see our previous Follow the Fundsters (previously know as People on the Move) column here. For the latest SEC filings and fund launches, explore our Filings For Fundsters (formerly Stork and Reaper) and New Fund Fuss columns. For job opportunities in the industry, explore our The Next Gig column. If you have a fund filing, a mutual fund launch, a product change or a new hire that you would like to announce, please contact the MFWire team at email@example.com.
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